Dodd-Frank Act and Financial Services Reform Resource Center
Monday, April 22, 2013
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 affects almost every facet of the U.S. financial services industry. This legislative behemoth, intended to restore public confidence in the financial services industry, prevent future financial meltdowns, improve market transparency and manage institutional and systemic risk, has restructured existing regulatory agencies and responsibilities, enhanced the powers of federal regulators, and created advisory bodies that touch upon a broad spectrum of financial services activities, institutions, and professionals. Despite the comprehensive nature of Dodd-Frank, the legislation left an extraordinary number of matters to be addressed through agency rulemaking and other regulatory action and established broad discretion for federal regulators.
To prepare for the numerous groundbreaking regulations resulting from Dodd-Frank, financial institutions, financial professionals and their clients must allocate sufficient resources to fully understanding the impact of Dodd-Frank on their existing businesses, prepare, modify and some cases, build comprehensive systems to comply with new rules – now and going forward, and foster a culture of Dodd-Frank awareness and readiness. Financial institutions and their clients will need to assess how to best achieve their business objectives in light of – or in spite of – this new financial regulatory paradigm.
The Pepper Hamilton Financial Services Reform Resource Center provides timely and informative resources for financial institutions, financial professionals, and others affected by Dodd-Frank.
The following attorneys are part of Pepper Hamilton’s Financial Services Reform Response Team:
Team Leader
Richard P. Eckman
Consumer Financial Protection Bureau
Richard P. Eckman
Gary Apfel
Mortgage Lending and Servicing
Audrey D. Wisotsky
Daniel G. Murray
Financial Services Enforcement and Litigation
Stephen G. Harvey
Financial Stability Oversight Council
Timothy R. McTaggart
Federal Deposit Insurance Corporation Resolution Authority
Frank A. Mayer, III
Federal Preemption
Stephen G. Harvey
Timothy R. McTaggart
Investment Funds and Advisors
Gregory J. Nowak
SBREFA and Conflicts Minerals
Jane C. Luxton
SEC Disclosures and Corporate Governance
Robert A. Friedel
Brian Korn
Volcker Rule and Derivatives Reform
Brian Korn
Pepper Hamilton LLP Articles and Client Alerts
- Fair Value Accounting: Reinforcing Organizational Transparency and Accountability
- The OCC’s New Stance: FDIC Insurance Required for ‘Trust-Only’ National Banks
- Anti-Corruption Law and the Oil and Gas Industry: Evolutions in Both Demand Vigilance
- Will New U.S. Court of Appeals Decision on ‘Recess Appointments’ Stay Dodd-Frank Powers Granted to CFPB and Vacate Certain Actions?
- The Impact of the CFPB’s Appraisal Rule
- The New Normal: Third-Party Vendors Under the Microscope
- Form PF Filing Deadlines Loom for Midsized Hedge and PE Fund Advisers – Some Key Mechanical and Timing Issues
- CFPB Issues Final Mortgage Servicing Rules
- Compliance Considerations for Derivatives End-Users (PowerPoint)
- NYSE and NASDAQ Compensation Committee and Compensation Advisers Listing Standards
- CFPB Issues Final Ability to Repay Rule and ‘Qualified Mortgage’ Standard
- The SEC Is Scrutinizing Asset Valuations—Are You Ready?
- CFTC Gives the Swaps Market an Early Christmas Present
- FSOC Recommends and Seeks Comment on Money Market Mutual Fund Reform
- Caution Advised for Newly Registered Advisers
- The SEC’s Final Conflict Minerals Rule Will Impose Broad Diligence and Reporting Obligations on Manufacturers
- The Consumer Financial Protection Bureau Celebrates First Birthday By Flexing Its Enforcement Muscles: Settlement Costs Capital One $210 Million
- The SEC Audit Process: A Survival Guide
- Pricing Risk - Contracting with a SIFI: Private Equity Firms, Insurance Companies, and Hedge Funds
- CFPB Issues Proposed Rule on Privileged Information Obtained from Supervised Entities and House Passes Bill that Would Authorize It, But Concern Remains About Erosion of Attorney-Client Privilege
- An Uncomfortable Wake-Up Call For Dodd-Frank Regulators
- CFPB Issues Regulatory Agenda: Brace for the New Rules and the SBREFA Process
- SEC to Increase Enforcement Activity Significantly in 2012
- Consumer Financial Protection Bureau Tells Supervised Institutions Not to Worry About Waiver of Privilege
- Avoiding Whistleblower Retaliation Claims Under the Dodd-Frank Act
- SEC Adopts the Dreaded Form PF – But with a Few Twists
- SEC and CFTC Working on Regulatory Harmonization
- The Quest to Create a Self-Regulatory Organization for Investment Advisers: ‘I Say Adviser; You Say Advisor ... Let’s Call the Whole Thing Off’
- The Importance of Having and Following a Strong Public Company Insider Trading Policy
- SEC to Hold October Roundtable on Conflict Minerals Rulemaking
- Dodd-Frank’s Whistleblower Provision Is Putting Your Company in the Crosshairs: Practical Tips for Avoiding Whistleblower Retaliation Claims
- Are You a ‘Large Trader’ Subject to the New SEC Reporting Rules?
- Dodd-Frank Regulators Beware: New Rules Will Not Survive Without Sound Economic Justification
- SEC Tightens Restrictions on Which Investors Can Be Charged Performance Fees by Investment Advisers
- SEC Adopts Final Rules Implementing Dodd-Frank’s Investment Adviser Registration Requirements and Exemptions
- Challenges Currently Facing Community Banks, Including Requirements of the Dodd-Frank Act
- The More Things Change the More They Stay the Same: OCC Issues Notice of Proposed Rule on National Bank Act Preemption and Claims It Was Right All Along
- SEC Adopts Final Dodd-Frank Whistleblower Rules That Will Allow Employee-Whistleblowers to Circumvent Companies’ Internal Compliance Programs
- Potential Effects of The Dodd-Frank Act on Community Banks - A PowerPoint Presentation for New Hampshire & Vermont Bankers Associations’ Annual Senior Management Conference
- Supreme Court Upholds Class Action Waiver Provisions in AT&T Mobility LLC v. Concepcion
- Executive Order 13563 and the United States Supreme Court’s Decision in Mayo: Impact on Current and Upcoming Dodd-Frank Rulemakings
- Regulators Propose Margin and Capital Requirements for Uncleared Swaps
- The Joint SEC and CFTC Form PF Proposal – a.k.a. the ‘They Really Expect Us to Tell Them EVERYTHING About Our Funds Via Their New Fancy Form’ Proposal
- FDIC and Federal Reserve Issue Joint Proposed Rule on Required Crisis Planning - Step One: A Living Will
- Second Circuit Invalidates Class Action Waiver Provision (Again) on Public Policy Grounds Under the Antitrust Laws
- Timeframe for Compliance with the Volcker Rule
- Regulators Seek Comments on Proposal Requiring Securitizers of Asset-Backed Securities to Retain Some Risk of Securitized Assets
- Dodd-Frank Act: Implications for the Public Finance Industry
- Update to Dodd-Frank Act Rulemaking: Orderly Liquidation Authority, Including the Ability of the FDIC to Recoup Executive and Director Compensation
- Constitutionality Analysis of Certain of the Dodd-Frank Wall Street Reform and Consumer Protection Act’s Most Significant Grants of Regulatory Power
- The Dodd-Frank Act and the Insurance Industry
- 'Conflict Metals': Comment Deadline Is Nearing on New SEC Disclosure Requirements
- Updates to Dodd-Frank Rulemaking, Including Orderly Liquidation Authority and Volcker Rule Conformance
- FDIC Approves Final Rules on Insurance Fund Assessments
- Federal Regulators Propose New Reporting Requirements for OTS-Regulated Savings Associations and Savings and Loan Holding Companies
- More on the New SEC Registration Requirements for Municipal Advisors Under the Dodd-Frank Act - Advisors and Solicitors Who Must Register with Both the SEC and the MSRB
- Pricing Risk: Title II of the Dodd-Frank Act - Orderly Liquidation Authority
- SEC Defines ‘Municipal Advisor’ Under Dodd-Frank Act; MSRB Registration Also Required
- SEC Defines ‘Municipal Advisor’ Under Dodd-Frank Act; MSRB Registration Deadline of December 31, 2010 Looms
- The 'Speed Bump' Amendment in Dodd-Frank: What Is It and What Does It Do?
- Whistleblower Provisions of the Dodd-Frank Act Clarified by the SEC’s Proposed Rules
- OCIE Director Discusses Recent Changes at the Commission and Current Exam Priorities
- FINRA Contemplates Requiring a Broker Version of Form ADV Disclosure
- The Dodd-Frank Act’s Effect on Industrial Banks, Credit Card Banks and Trust Banks
- How the Dodd-Frank Act Affects Preemption of State Consumer Financial Laws: A Primer on Subtitle D of Title X
- Dodd-Frank Act Will Have Specific Effects on Community Banks
- CFPB Transfer of Authority Set for July 2011, Elizabeth Warren to Lead Establishment of the Bureau
- Dodd-Frank Act Creates Financial Stability Oversight Council to Identify, Respond to Economy’s Systemic Risks
- The Effect of the Dodd-Frank Wall Street Reform and Consumer Protection Act on Municipal Securities Law
- Dodd-Frank’s Mandatory Executive Compensation Clawback: A Practical Review and Assessment
- Special U.S.-India Alert
- Comprehensive Financial Reform Legislation Becomes Law
- The Financial Reform Act and Private Placements: A Bullet Dodged
- New Whistleblower Protections Included in Wall Street Reform Legislation
- Senate Passes Financial Services Reform Bill
- Supreme Court Rejects Class-Action Arbitration Absent Consent, But Congress and Regulators May Have Final Say
- House Mortgage Reform Bill Offers Major Changes for Lenders, Securitizers, and Others
- House Passes Major Financial Services Reform Package
News
Webinars
- Implementing the SEC's New Rules Requiring Disclosure of the Use of Conflict Minerals and of Payment Disclosures by Resource Extraction Issuers - May 16, 2013
- The New Normal: Taking Responsibility for Your Vendors - April 16, 2013
- A New World for Mortgage Banking - What You Need to Know About the CFPB's Final Qualified Mortgage Rule - March 21, 2013
- A New World for Mortgage Banking – What You Need to Know About the CFPB’s Final Mortgage Servicing Rules - January 31, 2013
- Obama and Romney - What Would They Do For (Or To) You? - November 5, 2012
- The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance - October 10, 2012
- Civil Investigative Demands, Subpoenas and More: How to Prepare for the Government's Renewed Focus on Financial Services - October 2, 2012
- Consequences of Regulatory Scrutiny of Overdraft Protection Programs - September 12, 2012
- What You Need to Know About Working with the CFPB Supervision and Examination Process - May 23, 2012
- Preparing for the New Wave of Government Enforcement Activity in Financial Services - October 13, 2011
- A Closer Look at the Dodd-Frank Act - The Dodd-Frank Act One Year Later: What's New and What to Expect - July 21, 2011
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - Public Finance and the Dodd-Frank Act - February 22, 2011
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - The Dodd-Frank Act and the Insurance Industry - January 25, 2011
- The 'Speed Bump' Amendment in Dodd-Frank: What Is It and What Does It Do? - January 12, 2011
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - Implications for Investment Management and Alternative Investment Markets, and for Public Companies - December 15, 2010
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - Systemic Risk and the Role of Federal Regulators - November 30, 2010
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - The Consumer Financial Protection Bureau - October 26, 2010
- Financial Services Reform Webinar Series: A Closer Look at the Dodd-Frank Act - Mortgage and Anti-Predatory Lending Reform - September 29, 2010
- What the Financial Reform Legislation Means for You
Seminars
- Brian Korn Presenting at Practising Law Institute Seminar, Understanding the Securities Laws 2013 - July 25-26, 2013
- Gregory J. Nowak Presenting at PBI's 19th Annual Health Law Institute - March 12-13, 2013
- Brian Korn Speaking at NYC Bar Association Seminar, 'How to Guide' to Basic Derivatives & Structured Products - January 23, 2013
- Thomas M. Gallagher Presenting at ACI's Advanced Summit on White Collar Litigation - January 22-24, 2013
- The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance - December 5, 2012 (New York)
- The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance (Philadelphia) - December 4, 2012
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - November 27, 2012 (New York)
- Jane Luxton to Present on Regulatory Developments Affecting Women-Owned Businesses - November 7, 2012
- Thomas M. Gallagher Presenting at ACI's White Collar Litigation Summit - October 31 - November 1, 2012
- Strategies for Keeping a Whistleblower Claim In-House - October 30, 2012
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series- October 23, 2012 (New York)
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - September 25, 2012 (New York)
- Eckman and Mayer Presenting Audio Conference, Consequences of Regulatory Scrutiny of Overdraft Protection Programs - September 12, 2012
- Gregory J. Nowak Chair of iGlobal Forum's 3rd Annual Alternative Investments Summit - May 30, 2012
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - May 22, 2012 (New York)
- Frank Mayer Speaking for The Knowledge Congress Webcast - Dodd-Frank: Leverage and Risk-Based Capital Requirements for Banks (SEC. 171) - May 17, 2012
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - April 24, 2012 (New York)
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - March 27, 2012 (New York)
- Investment Management and Hedge Funds: What's Happening Now?, 2012 Roundtable Series - February 28, 2012 (New York)
- Frank A. Mayer, III Presenting to ISSA on 'Dodd-Frank and the CFPB’s Impact on Security Practice' - February 15, 2012
- Timothy R. McTaggart and Frank A. Mayer, III Presenting Dodd-Frank Act Implementation Status to D.C. Chapter of IIA - January 18, 2012
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - December 20, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - November 22, 2011
- Private Equity / Hedge Fund Managers Roundtable Series - November 8, 2011 (Berwyn)
- Private Equity / Hedge Fund Managers Roundtable Series - November 3, 2011 (Philadelphia)
- Pepper Attorneys Presenting at 5th Annual Labor & Employment Law Conference - November 2-5, 2011
- Richard P. Eckman Presenting on Consumer Lending at Thomson Reuters Customer Summit - November 2, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - October 25, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - September 27, 2011
- Managing and Mitigating Risks Created by the SEC's New Dodd-Frank Whistleblower Program - August 17, 2011 (Berwyn)
- Daniel G. Murray and Audrey D. Wisotsky Presenting on 'Complying with Federal Mortgage Lending Law Under the Dodd-Frank Act' - August 16, 2011
- Managing and Mitigating Risks Created by the SEC's New Dodd-Frank Whistleblower Program - August 10, 2011 (New York)
- Managing and Mitigating Risks Created by the SEC's New Dodd-Frank Whistleblower Program - August 3, 2011 (Princeton)
- CLE workshop on Managing and Mitigating Risks Created by the SEC’s New Dodd-Frank Whistleblower Program - June 22, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - May 24, 2011
- Pepper Hamilton Lawyers Presenting 'Consumer Protection Provision of the Dodd-Frank Act' - May 17, 2011
- Jane C. Luxton to Present at 7th Annual National Institute of Administrative Law - May 3, 2011
- Investment Management and Hedge Fund Roundtable Series - April 28, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - April 26, 2011
- Robert A. Friedel Presenting at MAPI Manufacturers Alliance's Investor Relations Council Meeting - March 31-April 1, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - March 22, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - February 22, 2011
- Timothy R. McTaggart Speaking at Cato Institute Forum, "Is Dodd-Frank Constitutional?" - February 15, 2011
- Investment Management and Hedge Funds: What's Happening Now?, 2011 Roundtable Series - January 25, 2011
- Pepper Partners Presenting Audio Conference on Complying With Federal Mortgage Lending Law Under the Dodd-Frank Act - February 16, 2011
- Richard P. Eckman Speaking at Dodd-Frank Financial Reform Bill CLE at Villanova University School of Law - December 1, 2010
- Pepper Lawyers Presenting on 'Understanding the Implications of Financial Regulatory Reform' - August 18, 2010
- Pepper Lawyers Speaking at Teleconference, "Dodd-Frank Wall Street Reform and Consumer Protection Act" - August 17, 2010
Other Resources
